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On Wall Street
May 1, 2011 |
Five Questions With Sean Walters Sean Walters of the Investment Management Consultants Association shares his thoughts on the industry and credentialing programs.   |
Financial Advisor
February 2012 |
IMCA Boosts 2011 Membership The Investment Management Consultants Association's stepped-up efforts to attract new members paid dividends in 2011, with overall membership up 7% for the year. |
Registered Rep.
July 8, 2009 |
CIMA Adds Post-Modern Portfolio Theory To Curriculum The Investment Management Consultants Association has announced that it has changed the requirements for attaining the designation of Certified Investment Management Analyst. |
Registered Rep.
April 27, 2011
Kristen French |
CIMA Aims High: Seeks to Replace Series 7, 65 As Industry Standard The Investment Management Consultants Association announced Wednesday that its popular CIMA certification is now accredited by the American National Standards Institute, making it the first of the major wealth management designations to meet international ISO standards. |
Registered Rep.
August 5, 2003
David A. Gaffen |
Tussle Over Designations at IMCA Rankles Advisors The Certified Investment Management Associate degree, or CIMA, is an exclusive certification, and some brokers with the similar CIMC designation are finding that out the hard way. |
Registered Rep.
December 1, 2006
Kristen French |
60 Seconds with Deborah Doyle McWhinney A short interview about the rivalry between the registered investment advisor (RIA) firms that Schwab caters to and Wall Street wirehouses. |
The Motley Fool
October 30, 2006
Dan Caplinger |
Avoid the Boiler Room Some financial advisors know more about sales than they do about investing. Finding good financial advice is tough. Investors with little or no knowledge about their finances are extremely vulnerable to disreputable professionals. |
Registered Rep.
May 1, 2005 |
60 Seconds With David Monday Wachovia Securities' new Individual Investor Group leader talks about his plans for the new division. |
Registered Rep.
August 1, 2005 |
CIMA and the Wirehouse Rep. Merrill Lynch leads the pack in terms of the number of Certified Investment Management Analyst (CIMA)-carrying reps. |
Registered Rep.
October 1, 2005 |
60 Seconds with Bill Carey (Head of Fidelity's RIA group) The former president of Fidelity's institutional retirement business and a 12-year veteran of the firm talks about his plans for the advisory unit and the challenges confronting advisors. |
Registered Rep.
October 1, 2006
Kevin Burke |
60 Seconds with...David Tyrie A short interview with the head of Putnam's retirement services unit, who works directly with 401(k) sponsors and financial advisors. |
Registered Rep.
February 1, 2005 |
60 Seconds with Bill Nasgovitz Named an Outstanding Broker in 1981 and now celebrating the 20th anniversary of his Heartland Value Fund this year, Heartland Advisors president Bill Nasgovitz focuses on 10-year returns and weathering market dips. |
Financial Planning
January 31, 2013 |
Calendar New York Consultants Conference... Technology Tools for Today... Women Advisors Forum... |
Registered Rep.
November 10, 2010
Charles Paikert |
Advisor Interest In Ultra Wealthy Grows Wealthy clients, especially the younger ones, want more sophisticated advice and they want a fiduciary who will always act on their behalf. |
Registered Rep.
September 1, 2004 |
Highbrow Drifter Style drift has become shorthand for freelancing fund managers buying whatever the heck they want. Craig Callahan of ICON Funds says this is a misconception. |
Registered Rep.
May 1, 2006 |
Cold Call: Frank Congemi A short interview with a financial advisor on his profession. |
Financial Planning
March 1, 2008
Stacy Schultz |
5 Questions with Melaine Kimmel Five questions about Kaplan Financial, which provides education and compliance solutions for financial professionals, advisors, agents, registered reps, and their supervisors. |
Financial Advisor
March 2011
Andrew Gluck |
Members Only Good intentions and strict rules may have backfired for the Financial Planning Association at a time of change. |
Registered Rep.
April 1, 2007 |
Marilyn Dimitroff An interview about a second round of proposed revisions to the CFP Board's Code of Ethics. |
Registered Rep.
January 1, 2008 |
Independent Advisor Services, LPL Bill Dwyer President A conversation with Bill Dwyer, President of LPL Financial Services in San Diego, California, a financial services firm with $231.8 billion in client assets under management. |
Registered Rep.
April 1, 2008 |
First Allied Securities A conversation with Keith Gregg, president and co-CEO of First Allied Services in San Diego, California. |
Bank Technology News
May 2007
Michael Sisk |
Ethics: You Have to Be Good. Everybody's Watching. While the issue of ethics has always been top of mind in IT, there's no doubt the topic is more hotly discussed than in years past. |
Registered Rep.
February 28, 2003
Ross Tucker |
Attractive Advice at IMCA Conference: Tough times call for creative approaches This was the message delivered by Merrie Martinson, a vice president with Scudder Investments, in kicking off a two-day conference sponsored Investment Management Consultants Association. |
CIO
February 26, 2014
Mary K. Pratt |
Ethics Code Seeks to Deter Dishonest Analytics The INFORMS code of ethics requires analytics professionals to report unbiased answers, not just what the client wants to hear. |
Investment Advisor
March 2009
Kara P. Stapleton |
Group Think News about the FPA, American College, CFP Board, and IMCA. |
Financial Advisor
June 2005
Grove & Prince |
Preserving Client Relationships In Down Markets What should financial advisors do when the stock market tanks? Communicate early and often to keep clients happy. |
Investment Advisor
November 2006
Kara Stapleton |
Group Think The Financial Planning Association announced the winners of its first-ever Heart of Financial Planning Distinguished Service Awards, recognizing those who engage in exceptional work and contribute to the financial planning community or to the public. |
Registered Rep.
April 1, 2008 |
Wachovia Securities Financial Network A conversation with John Peluso, head of Wachovia Securities Financial Network, in St. Louis, Missouri. |
Registered Rep.
April 1, 2008 |
Raymond James Financial Services A conversation with Dick Averitt, chairman and CEO of Raymond James Financial Services in St. Petersburg, Florida. |
Registered Rep.
January 1, 2008 |
Mutual Service Corporation J. Andrew Kalbaugh CEO A conversation with J. Andrew Kalbaugh, CEO of Mutual Service Corporation, a financial services firm in West Palm Beach, Florida, with $6.3 billion in clients assets under management. |
Registered Rep.
April 1, 2008
David A. Geracioti |
Joseph Duran A conversation with Joseph Duran, about his firm, United Capital, a national wealth-management firm that purchases regional registered investment advisor firms. |
Financial Planning
December 1, 2012
Deena Katz |
Great Expectations? Think British. New Rules to Apply there in 2013 New U.K. regulations will force advisors there to make big changes. You should consider following their lead. |
Registered Rep.
July 6, 2009 |
Outright Greed? Or Mere Miscommunication? Managing client expectations may be the biggest problem for financial advisors. |
AFP eWire
April 2, 2008 |
Ethics Still a Hot-Button Issue in Philanthropy, New Survey Finds Percentage-based commissions paid to fundraisers tops the list of unethical fundraising behavior. |
Investment Advisor
September 2007 |
Upgrades The Investment Management Consultants Association, Inc. is offering a new designation -- the Chartered Private Wealth Advisor or CPWA. |
Financial Advisor
May 2011
Andrew Gluck |
Finra Makes Its Move Who regulates financial advisors may shift. Here's a look at the positions various groups are taking on fiduciary standards. |
Investment Advisor
October 2007
K. McBride & K. Stapleton |
Birds of a Feather More than ever, the professional associations that cater to financial planners and advisors are having a meaningful impact outside the planning community itself, among consumers, in the courts, and on Capitol Hill. |
Registered Rep.
January 1, 2008 |
Securities America Steve McWhorter CEO A conversation with Steve McWhorter, CEO of Securities America, a financial services firm in LaVista, Nebraska, with 1,750 registered representatives. |
Registered Rep.
November 1, 2004 |
Schwab's Bright Spot An interview with Deborah McWhinney, unit head of Schwab Institutional, which provides back-office and technological support for more than 5,000 advisors. Since coming from Bank of America, she has watched its assets exceed the $300 billion mark. |
Investment Advisor
October 2005
Kathleen M. McBride |
Privileged Membership Professional associations can give financial advisors a very good idea of how well they are doing compared to their peers -- and often provide practice management guidance about how to make improvements that could yield a material difference to their bottom line. |
Registered Rep.
April 1, 2008
David Geracioti |
Sallie Krawcheck A conversation with Sally Krawcheck, CEO of Citigroup's Smith Barney unit, about the company's recent reorganization. |
Financial Advisor
April 2007
William Glasgall |
Why Marketing Works Over the years, many advisors, being analytical people at heart, have relegated marketing to a minor role behind crunching numbers for clients' financial plans and investment portfolios. Now, that attitude seems to be undergoing a long-needed change. |
Registered Rep.
May 1, 2005
Kristen French |
Go to the Head of the Class This financial advisor and winner of an Outstanding Broker Award for 2005 loves learning, and his clients love him for it. |
Registered Rep.
April 1, 2008 |
Woodbury Financial Services A conversation with Walter White, president of Woodbury Financial Services, in Woodbury, Minnesota. |
AskMen.com
December 9, 2001
Rashmikant Patel |
Trusting Your Advisor Many of us are looking back at our investments over the last couple of years, and blaming our advisors for the less than stellar performance. It all comes down to one issue: do you trust your financial advisor? |
Registered Rep.
May 1, 2012
Jerry Gleeson |
60 Seconds: Catherine A. Saunders Catherine A. Saunders was named about three years ago to lead a product sales drive to fee-based RIAs. |
Financial Advisor
January 2007
Sydney LeBlanc |
The Lost Art Of Consulting Technology streamlines a messy, time-consuming process, but some financial advisors and other consultants still like to get their hands dirty. |
Financial Advisor
May 2005
Shaw-Grove & Prince |
Taking the Pulse of Affluent Investors A recent survey reveals that millionaire investors have changed their thinking over the past four years and have lost faith in their financial advisors. |
Registered Rep.
March 1, 2007 |
Cold Call: Mark Hall The ideal client is (in three words)... The ideal financial advisor is... You've partnered with three local community banks to help grow your client base. What is toughest about this model?... etc. |
Financial Advisor
June 2004
Sydney LeBlanc |
SMAs and Due Diligence: Streamlining The Process Software tools and common sense can help advisors enter the separately managed accounts (SMA) business. |
